Compliance Consultant

James Phillip Financial Recruitment are working with an expanding Compliance provider, one of Londons leading providers of bespoke corporate compliance.

They are looking for a consultant to join the team to ensure delivery of compliance and technical services to their coporate clients ensuring timescales are met and service quality delivered.

Duties:

• Dealing with clients’ telephone and e-mail queries within 48 hour turnaround time
• Assisting firms complete Gabriel and ONA returns
• Preparing newsletters for 1st
• Providing assistance to Business Development and Compliance Field Consultants
• Provide support to Client Firms with complaint investigation and response
• Provide consultative support to Client Firms
• Verify content of marketing communications and make any amends as appropriate prior to delivery to prospects
• Keep up to date with all regulatory and industry changes and assist in the dissemination of the information to team
• Be able to work with staff at all levels, including internal and external Directors and Senior Management
• Play an active part in own team, carrying out work to enhance the Unit and ensuring information, knowledge, experience and innovation is shared across the business
• Preparation of reports to management as required
• Ensure own knowledge is enhanced and maintained through relevant continued professional development

Person Specification:

• Self motivated and positive
• Ability to work under pressure
• Financial services experience is essential
• Broad technical knowledge across all product areas
• Wide industry knowledge and experience in a senior compliance role

Experience and Qualifications:

Minimum Level 4 qualification essential